Ronald P. Morin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ronald Paul Morin Sr, who also goes by R Morin Sr., Ron Morin Sr, Ron Morin, Ronald P Morin, Ronald Paul Morin Sr, Ronald Paul Morin, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1983. Ronald had worked at 9 firms and has passed the Series 63, Series 66, SIE and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2015 - December 31, 2017
NATIONWIDE SECURITIES, LLC
September 6, 2013 - December 31, 2014
NATIONWIDE SECURITIES, LLC
November 15, 2010 - May 14, 2012
LPL FINANCIAL LLC
September 15, 2010 - November 18, 2010
SIGNATOR INVESTORS, INC.
May 12, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
May 12, 2006 - July 9, 2009
MSI FINANCIAL SERVICES, INC.
March 15, 2005 - December 15, 2005
NYLIFE SECURITIES LLC
April 12, 2002 - January 7, 2004
NEW ENGLAND SECURITIES
June 13, 2001 - February 21, 2002
MAIN STREET MANAGEMENT COMPANY
December 21, 1988 - March 14, 1989
AETNA LIFE INSURANCE AND ANNUITY COMPANY
July 17, 1983 - February 14, 2000
NATIONWIDE SECURITIES, LLC
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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